posted on 06-06-2019
Shelf Registration
Updated October 1, 2019
What is a Shelf Registration?
A shelf registration is the filing and registration with the Securities and Exchange Commission (SEC) for a security offering that is released to the public market incrementally over a period of time (shelf offering).
How Does a Shelf Registration Work?
Under Rule 415, the SEC allows an issuer to register new securities, and then shelve the public offering for up to two years.
A shelf registration requires that the company file quarterly and annual reports with the SEC.
Why Does a Shelf Registration Matter?
While it is a clear indication of the intention of a company to issue stock, a shelf registration does not affect the number of shares outstanding until the stock is actually sold in the market.
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